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					TAXUD/R4 – INVITATION TO TENDER TAXUD/2012/AO-06               REF: QA3 TOR
QUALITY ASSURANCE - TERMS OF REFERENCE
COVER



0. COVER
  ORIGINATOR:                   ISSUE DATE:                       VERSION:
   TAXUD/R4                     September 2012                     1.0 – EN

                      Annex II.A - TERMS OF REFERENCE


                   INVITATION TO TENDER TAXUD/2012/AO-06


 For the provision of services for Quality Assurance and Quality Control and Project
                Management of IT activities managed by DG TAXUD
                                       (QA3)




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0.1. TABLE OF CONTENTS

0.       COVER......................................................................................................................................................... 1
     0.1.         TABLE OF CONTENTS ............................................................................................................................ 3
     0.2.         TABLE OF TABLES ................................................................................................................................. 3
     0.3.         TABLE OF FIGURES ................................................................................................................................ 4
     0.4.         ACRONYMS AND DEFINITIONS............................................................................................................... 4
     0.5.         REFERENCES ......................................................................................................................................... 9
1.       INTRODUCTION ..................................................................................................................................... 12

2.       SCOPE OF THIS INVITATION TO TENDER..................................................................................... 13
     2.1.     SCOPE ................................................................................................................................................. 13
        2.1.1. QA3 services ................................................................................................................................. 13
        2.1.2. Take-over (WP .2) ......................................................................................................................... 14
        2.1.3. Hand-over (WP.5) ......................................................................................................................... 14
        2.1.4. QA3 services and deliverables ...................................................................................................... 14
3.       BACKGROUND INFORMATION ......................................................................................................... 15
     3.1.     IT ACTIVITIES OF DG TAXUD ........................................................................................................... 15
        3.1.1. IT in support to policy ................................................................................................................... 15
        3.1.2. IT Systems ..................................................................................................................................... 16
        3.1.3. Governance ................................................................................................................................... 19
     3.2.     RECENT ACHIEVEMENTS AND FUTURE DEVELOPMENTS ...................................................................... 19
     3.3.     IT ORGANISATION OF DG TAXUD..................................................................................................... 20
     3.4.     IT CONTRACTORS OF DG TAXUD ..................................................................................................... 23
        3.4.1. DG TAXUD IT value chain ........................................................................................................... 23
        3.4.2. As-is DG TAXUD contract organization overview (July 2012) .................................................... 26
        3.4.3. To-be DG TAXUD organization overview .................................................................................... 27
     3.5.     STRATEGY FOR QUALITY MANAGEMENT ............................................................................................ 29
     3.6.     CONTRACT AND DEMAND MANAGEMENT............................................................................................ 30
     3.7.     QA/QC SERVICES ............................................................................................................................... 31
        3.7.1. Introduction................................................................................................................................... 31
        3.7.2. WP.0 Project management............................................................................................................ 33
        3.7.3. WP.1 Set-up and maintenance of resources .................................................................................. 34
        3.7.4. WP.3 Training/workshop/demonstration, missions and consultancy............................................ 34
        3.7.5. WP.4 Coordination with involved parties ..................................................................................... 35
        3.7.6. WP.9.1 Maintenance of the Programme Quality Plans ................................................................ 35
        3.7.7. WP 9.2 Audits of other contractors ............................................................................................... 35
        3.7.8. WP 9.3 Quality management......................................................................................................... 36
        3.7.9. WP 9.4.1 Quality Control of the document deliverables from other contractors.......................... 36
        3.7.10.    WP 9.4.2 Quality Control of the service level management processes of the other contractors
                   37
        3.7.11.    WP 9.5 Quality control of the Conformance Testing and WP 9.6 Quality Control of the FAT,
        pre-SAT/SAT and qualifications .................................................................................................................. 37
        3.7.12.    WP 9.7 Support to the review process ...................................................................................... 42
        3.7.13.    WP 9.8 Management and Maintenance of TEMPO methodology ............................................ 43
        3.7.14.    WP 9.9 technical Support to DG TAXUD and WP 9.10 Project Management support ........... 44
        3.7.15.    WP 9.W Response to request for information (RfI) .................................................................. 45
        3.7.16.    WP.A Other deliverables and services in the scope of the contract ......................................... 45
        3.7.17.    Quantities of the QA contract................................................................................................... 46


0.2. TABLE OF TABLES
Table 1: Acronyms ......................................................................................................................9

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Table 2: Quantities consumed by incumbent QA contractor ....................................................49


0.3. TABLE OF FIGURES
Figure 1: Trans-European System Development Lifecycle ......................................................17
Figure 2: IT organisation in DG TAXUD .................................................................................21
Figure 3: DG TAXUD IT Value Chain.....................................................................................24
Figure 4: DG TAXUD's Current Contracts...............................................................................26
Figure 5: Support Contracts' Target Situation at DG TAXUD .................................................29


0.4. ACRONYMS AND DEFINITIONS



In this document, the Directorate-General Taxation and Customs Union of the European
Commission, which is the contracting authority, will be further referred to as “the
Commission” or " DG TAXUD ".

Acronym                                                      Definition
ACT                                                          Application Configuration Tool
AEO                                                          Authorised Economic Operators
AN                                                           As Needed
APM                                                          Application Portfolio Management
ART                                                          Activity Reporting Tool
ATP                                                          Acceptance Test Plan
ATS                                                          Acceptance Test Specifications
BCP                                                          Business Continuity Plan
BL                                                           Baseline
BMM                                                          Bilateral Monthly Meeting
BPM                                                          Business Process Modelling
BTI                                                          Binding Tariff Information
CAB                                                          Change Advisory Board
CCN                                                          Common Communications Network
CCN/CSI                                                      Common Communications Network /
                                                             Common System Interface
CCN/TC                                                       Common Communications Network /
                                                             Technical Centre
CCN/WAN                                                      Common Communications Network /Wide
                                                             Area Network Provider
CDB                                                          Capacity management DataBase
CI                                                           Configuration Item
CIA                                                          Classification of Information Assets
CIRCA                                                        Communication and Information Resource
                                                             Centre Administrator
CIRCABC                                                      Communication and Information Resource
                                                             Centre for Administrations, Businesses and
                                                             Citizens
CIS                                                          Customs IT Systems sector
CMDB                                                         Configuration Management DataBase

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CN                                   Combined Nomenclature
CO 2                                 Carbon Dioxide

COBIT                                Control Objectives for Information and
                                     related Technology
COM                                  European Commission
CONF                                 Conformance test environment
COPIS                                anti-COunterfeit and anti-PIracy System
COTS                                 Commercial Off-The-Self (software
                                     packages)
CPCA                                 Common Priority Control Area
CPT                                  Central Project Team
CQP                                  Contract Quality Plan
CRC                                  Common Risk Criteria
CS                                   Central Services
CS/RD                                Central Services/Reference Data
CSF                                  Critical Success Factor
CSIP                                 Continuous Service Improvement
                                     Programme
CT                                   Conformance test
CUSTDEV2                             Development contractor for customs systems
DDS                                  Data Dissemination System
DE                                   DEutsch (German)
DG                                   Directorate General
DIGIT                                Directorate-General for Informatics
DIGIT/DC                             Data Centre of the European Commission
DLV                                  DeLiVerable
DMZ                                  De Militarised Zone
DQR                                  Delivery Qualification Report
DRP                                  Disaster Recovery Plan
DSL                                  Definitive Software Library
DTM                                  Deliverable Tracking Matrix
EAS                                  Entreprise IT architecture and Strategy
EBTI                                 European Binding Tariff Information
EC                                   European Commission
ECG                                  Electronic Customs Group
ECICS                                European Customs Inventory of Chemical
                                     Substances
ECS                                  Export Control System
EMCS                                 Excise Movement and Control System
EN                                   English
EoF                                  Exchange of Forms
EORI                                 Economic Operators’ Registration and
                                     Identification system
EOS                                  Economic Operators Systems
EU                                   European Union
EUROFISC                             Network between MSAs supporting
                                     administrative cooperation in the field of tax
                                     evasion and tax fraud
EWSE                                 Early Warning System for Excise
FAQ                                  Frequently Asked Questions

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FAT                                     Factory Acceptance Test
FISCO                                   Fiscal Compliance Experts’ Group
FITSDEV2                                Development contractor for Fiscalis1 systems
FP                                      Fixed Price
FQP                                     Framework Quality Plan
FR                                      French
FS                                      Functional Specifications
FWC                                     Framework Contract
GQI                                     Global Quality Indicator
GTT                                     Generic Test Tool
GW                                      Gateway
HO                                      Hand-over
HTTP                                    HyperText Transfer Protocol
HTTPS                                   HyperText Transfer Protocol Secure
HW                                      Hardware
IA                                      Individual Acceptance
ICS                                     Import Control System
ICT                                     Information & Communications Technology
ICT IM                                  ICT Infrastructure Management (ITIL
                                        process)
ID                                      Individual Delivery
ILIADe                                  Intra Laboratory Inventory of Analytical
                                        Determination
IP                                      Internet Protocol
IPR                                     Intellectual Property Rights
IPSec                                   Internet Protocol Security
ISD                                     Infrastructure and Service Delivery sector
ISO/IEC                                 International Organization for
                                        Standardization/
                                        International Electrotechnical Commission
ISPP                                    Information System for Processing
                                        Procedures
IT                                      Information Technology
ITIL                                    IT Infrastructure Library
ITSC                                    IT Steering Committee
ITSCM                                   IT Service Continuity Management
ITSM                                    IT Service Management
ITT                                     Invitation To Tender
JIT                                     Just In Time
KEL                                     Known Error List
KPI                                     Key Performance Indicator
LAN                                     Local Area Network
LISO                                    Local Informatics Security Officer
MA                                      Mutual Agreement
MCC                                     Modernised Customs Code
MCP                                     Monthly Consolidated Plan
Mini1SS                                 Mini-One Stop Shop
MoM                                     Minutes of Meeting


1
    Covering Taxation and Excise


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MPR                                  Monthly Progress Report
MQ                                   Message Queue
MRN                                  Movement Reference Number
MS                                   Member State(s)
MSA                                  Member State (s) Administration (s)
MSR                                  Monthly Service Report
MTTR                                 Mean Time To Repair
MVS                                  Movement Verification System
N.A.                                 Not Applicable
NA                                   National Administration
NCTS                                 New Computerised Transit System
NCTS TIR                             NCTS part dealing with transit declarations
                                     and movements of road transport (Transport
                                     International Routier)
NECA                                 National Export Control Application
NICA                                 National Import Control Application
NTA                                  National Transit Application
OD                                   On Demand
ODL                                  Operation Document Library
OECD                                 Organisation for Economic Co-operation and
                                     Development
OGC                                  Office of Government Commerce
OJ                                   Official Journal of the EU
OLA                                  Operational Level Agreement
OLAF                                 Organisation de Lutte Anti-Fraude /
                                     European Anti-Fraude Office
OR                                   On Request
OS                                   Operating System
PDA                                  Personal Digital Assistant
PERT                                 Programme Evaluation and Review
                                     Technique
PQP                                  Programme Quality Plan
preCT                                Pre Conformance Test
preSAT                               Pre Site Acceptance Test
PS                                   Project Support sector
QA                                   Quality Assurance
QC                                   Quality Control
QoD                                  Quality of Data
QoS                                  Quality of Service
QTM                                  Quoted Times and Means
RDP                                  Remote Desktop Protocol
REX                                  Registered Exporters
RfA                                  Request for Action
RfC                                  Request for Change
RfE                                  Request for Estimation
RfI                                  Request for Information
RfO                                  Request for Offer
RfS                                  Request for Service
RIF                                  Risk Information Form
RSD                                  Release Scope Document
SA                                   Self Assessment

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SAT                                  Site Acceptance Testing
SC                                   Specific Contract
SD                                   Service Desk
SE                                   Service
SEAP                                 Single Electronic Access point
SEED                                 System for Exchange of Excise Data
SfA                                  Submit for Acceptance
SfI                                  Send for Information
SfR                                  Submit for Review
SLA                                  Service Level Agreement
SLM                                  Service Level Management
SMM                                  Service Monthly Meeting
SMS                                  Specimen Management System
SMT                                  Service Management Tool
SPEED2                               Single Portal for Entry and Exit of data
SPEEDNET                             SPEED NETwork
SPOC                                 Single Point Of Contact
SQI                                  Specific Quality Indicator
SRD                                  System Requirement Definition
SSH                                  Secure SHell
SSL                                  Secure Sockets Layer
SSTA                                 Standard SPEED Test Application
SSTP                                 Self-Service Testing Portal
SSTWP                                Self-Service Testing Web Portal
STTA                                 Standard Transit Test Application
SUG                                  Start Up Guide
SW                                   Software
SWOT                                 Strength, Weakness, Opportunity, Threat
TA                                   Test Application
TARIC                                TARif Intégré Communautaire /The
                                     Integrated Tariff of the Community
TAX                                  Taxation Trans-European Systems sector
TAXUD                                Directorate-General for Taxation and
                                     Customs Union
TEDB                                 Taxes in Europe DataBase
TEMPO                                TAXUD Electronic Management of Projects
                                     Online
TES                                  Trans-European Systems
TESM                                 IT service management for the Trans-
                                     European Systems
TIN                                  Tax Identification Number
TIR                                  Transport International Routier
TO                                   Takeover
ToC                                  Terms of Collaboration
ToR                                  Terms of Reference
ToS                                  Taxation of Savings
TS                                   Technical Specifications
TTA                                  Transit Test Application
UAM                                  User Access Management
UIPE                                 Uniform Instrument Permitting Enforcement
UNF                                  Uniform Notification form

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USB                                             Universal Serial Bus
VAT                                             Value Added Tax
VIA                                             VIES Initial Application
VIES                                            VAT Information Exchange System
VoeS                                            VAT on e-Services
VoW                                             VIES-on-the-Web
VPN                                             Virtual Private Network
VREF                                            VAT Refund
VSS                                             VIES Statistical application
VTA                                             VIES Test Application
WAN                                             Wide Area Network
WBS                                             Work-Breakdown Structure
w-days                                          Commission's working days (Normal
                                                working days are Mondays to Fridays
                                                inclusive excepting Commission Holidays)
WebLDAP                                         Web Client for Lightweight Directory Access
                                                Protocol
WP                                              Work Package
XML                                             eXtensible Markup Language
Table 1: Acronyms



0.5. REFERENCES
Throughout this Call for tenders, references are made to:

ITIL: IT Infrastructure Library (ITIL) for the implementation of the IT Service Management
Processes. The official ITIL website can be accessed following this URL: http://www.itil-
officialsite.com/

At the time of writing the call for tenders, DG TAXUD is migrating from ITIL version 2 to ITIL
version 3.

COBIT: Control OBjectives for Information and related Technology. Refer to http://www.isaca.org
for the COBIT 5 specifications (defined as business framework for the governance and management of
enterprise IT)

TEMPO: DG TAXUD methodology to ensure the consistent and efficient management, set-up,
development, operation and support of projects and service management.

Tenderers are invited to access TEMPO through the following URL:

http://circa.europa.eu/Members/irc/taxud/tempo/home
with the following parameters to sign in:
User identifier:        tempogue
Password:               guest900
Domain:                 circa

Standards



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The following standards are referred as applicable in the Technical Annex:

•     CMMI Level 2;

•     ISO 9001:2008 - Quality management systems – Requirements;

•     ISO 19011:2011 - Guidelines for auditing management systems;

•    ISO 19761:2011 - Software engineering -- COSMIC: a functional size measurement method;

•    ISO 20000-1:2011 - Information technology -- Service management -- Part 1: Service
     management system requirements;

•     ISO 20000-2:2012 - Information technology -- Service management -- Part 2: Guidance on the
     application of service management systems;

•    ISO 27001:2005 - Information technology -- Security techniques -- Information security
     management systems -- Requirements.

•    ISO 27002:2005 - Information technology -- Security techniques – Code of practice for
     information security management.

•    ISO 27005:2011 - Information technology - - Security techniques - Information security risk
     management

•    IFPUG FSM Method: ISO/IEC 20926:2009 Software and systems engineering - Software
     measurement method - IFPUG functional size measurement method


The Baseline: repository of DG TAXUD artefacts providing description of the current and future
activities of DG TAXUD in the area of Quality assurance and Quality Control.

This document is provided on DVD-ROM as Annex XI of the Tendering Specifications and available
only on written request by e-mail to: Taxud-tenders@ec.europa.eu or by mail to the following
address:

European Commission,
Directorate-General Taxation and Customs Union
Rue Joseph II 79/Josef II-straat 79
1000 Bruxelles/Brussel
Belgium

The information and the documents on the DVD-ROM are the sole property of the Commission
(unless otherwise specified), and are provided without prejudice and for the exclusive use of the
tenderer.

A Non-disclosure Declaration (Annex IX) will need to be signed by the potential tenderers.

The QA3 contractor needs to take into account that the Baseline reflects the situation applicable at the
time of publication of the call for tenders and that it will evolve.



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In case of conflict between the applicable documents, the following order of decreasing precedence
must prevail, unless otherwise stated:
•    The QA3 call for tenders (of which this document is part);
•    TEMPO;
•     International standard and best practises;
•     All documents referenced in the call for tenders Baseline.

Notation’s convention:

      all the references to the documents listed in the documentation baseline will be presented between
      square brackets [ref to document].

      The documents to be used from TEMPO are the ones to be retrieved from the TEMPO site (see
      URL provided here-before). In the text, references to TEMPO will be provided in italics and will
      include the document name together with the indication of the main section to be used from the
      TEMPO home page to browse to it (e.g TEMPO:Home -> Trans-European Systems Management
      -> … Trans-European Systems Reference manual).




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     INTRODUCTION



1. INTRODUCTION
 DG TAXUD manages a set of operational activities in the areas of customs, excises and taxation.
 These activities target the needs of users in the Commission services as well as those located in the
 National Administrations of the Member States and the citizens. Most of the IT systems managed by
 DG TAXUD are trans-European systems spanning all Member States (e.g. Transit and Excise control
 systems, VAT network). They have an extremely large user population in the National
 Administrations, in the trader community and in society as a whole. To support these trans-European
 systems, common functional and technical system specifications are defined. A closed and secure
 trans-European communication network (named CCN/CSI) as well as several applications and
 databases have been developed and are operated under the management of DG TAXUD. New trans-
 European systems are also being developed.

 All the trans-European information systems have a legal basis and they receive budgetary support
 from two programmes, Customs 2013 and Fiscalis 2013, and their successors (Customs 2020/Fiscalis
 2020).

 To promote consistent and efficient development of projects and applications, DG TAXUD has
 created, develops and maintains the TEMPO methodology for projects and services. Large parts of the
 IT development and operations activities are outsourced to external service providers. The 2012 IT
 budget estimation amounts to 61,500,000 Euro, out of which 10% is devoted to the Quality Assurance
 activities. DG TAXUD wants to ensure continuous quality and maturity improvement, that the
 different projects are well managed, deliverables made on time and within budget, services delivered
 according to expectation, that an overall quality is achieved and that the cooperation between DG
 TAXUD and its service providers is optimal, within the framework of its methodology TEMPO.

 DG TAXUD has put in place a Quality Assurance (QA) contract which helps with the monitoring and
 the assurance that the projects are conforming to the quality principles defined and applied in the
 pertinent SLA/OLA and quality plans, on the basis of the TEMPO methodology. The QA contractor
 performs dedicated QA, QC or other quality oriented tasks.

 Because of the expiration of the QA framework contract in place, DG TAXUD has to establish a new
 Framework Contract (FC) to outsource its Quality Assurance and Quality Control activities. The QA
 framework contract will now also include "Assistance à maître d'ouvrage" (support to project
 management from a customer perspective).

 The ToR of this Call for Tenders provides:

 •    a description of the scope of this Call for tenders;

 •    background information.

 Refer to the Annex II.B - Technical Annex for the full description of the work packages, for the
 codification of the Work Breakdown Structure (WBS) of the activities to be performed, including a list
 of services and deliverables, associated with a list of reference Specific Quality Indicators (SQI).

 In case of conflict between the terms of reference (this document) and the Technical Annex, the latter
 prevails.

 DG TAXUD invites the bidders to take note of the full content of TEMPO which constitutes the
 reference base the QA contractor will have to apply and maintain, and to take note of the
 Baseline which adds additional useful information.


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       SCOPE OF THIS INVITATION TO TENDER



2. SCOPE OF THIS INVITATION TO TENDER

2.1.     SCOPE
   This Invitation to Tender is for one Framework Contract of a duration of three (3) years, with
   option for maximum two (2) extensions of one (1) year, to cover the provision of services to DG
   TAXUD in the field of Quality Assurance and Quality Control and Project Management for its
   current and future IT projects and operations mandated by the Customs 2013 programme, the
   Fiscalis 2013 programme, and their successors Customs 2020 and Fiscalis 2020 programmes
   under preparation, in the scope of DG TAXUD activities.

   The QA3 contractor will be a key player to assist DG TAXUD fulfilling its customers' expectations
   whilst relying entirely on external contractors to provide the necessary IT services.

   The QA3 contractor is expected to take all necessary steps so that it gives "reasonable
   assurance" to DG TAXUD that the services and deliveries from the other contractors comply
   with expectation, and that the corresponding processes are well-defined and applied.
   Furthermore, the QA3 contractor is expected to assist DG TAXUD for the continuous
   improvement of the IT maturity, and to provision the TEMPO methodology accordingly. The
   QA3 contractor is expected to support and advice DG TAXUD in its IT project management
   activities (assistance à maître d'ouvrage).

   The work packages defined in the Annex II.B - Technical Annex of the Tendering Specifications
   defines the specific services to be provided by QA3 contractor.

           2.1.1. QA3 SERVICES

   The main services and deliverables of the QA3 contract are:

   •    take-over from the current QA contractor in charge of the quality assurance / quality control
        activities;

   •    Coordination with involved parties (meetings);

   •    Maintain and evolve the TEMPO methodology, including training;

   •    Provide QA/QC services, including reviews of deliverables from other contractors, coordination of
        the review process, QC of the Service Level Management (SLM) processes of other contractors,
        QC of testing activities;

   •    Perform audits (quality / security / ad hoc) of other contractors;

   •    Technical support and support to continuous improvement of IT maturity (DG TAXUD,
        contractors);

   •    Project Management support to DG TAXUD in its role of customer;

   •    Hand-over at the end of the contractual period to the Commission or any specified third parties on
        its behalf.




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The detailed requirements to be fulfilled by the QA3 contractor are described in the Annex II.B -
Technical Annex of the Tendering Specifications which includes the work packages, the
corresponding deliverables and the quality indicators.

       2.1.2. TAKE-OVER (WP .2)

QA/QC activities for the different DG TAXUD IT projects are currently performed by an incumbent
QA contractor.

Take-over activity is normally part of the first specific contract to be signed. It is foreseen the QA3
contractor will take over all QA/QC activities for all business threads in one go.

By default, the take-over period is 6 months.

The Annex II.B - Technical Annex provides the detailed requirements for the Take-Over (see WP.2
and related deliverables).

       2.1.3. HAND-OVER (WP.5)

At the end of the contractual period, the QA3 contractor will hand over to DG TAXUD, or any
specified third parties on its behalf, in accordance with instructions to be given by DG TAXUD, the
whole of the QA3 services, the whole of the live and historical data and information supporting the
services provided, the up–to-date version of any common tools developed/maintained by QA3
contractor, free of any rights, unless otherwise agreed by the Commission.

Up-to-date version of the FQP, services process and procedures descriptions must be available as well
to support the hand-over.

The Annex II.B - Technical Annex provides the detailed requirements for the hand-over (see WP.5)

       2.1.4. QA3 SERVICES AND DELIVERABLES

The Annex II.B - Technical Annex provides the detailed requirements (see WP.0, WP.1, WP.3, WP.4,
WP.9. and WP.A). Additional background information is provided in section 3.7 "QA/QC Services".




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         BACKGROUND INFORMATION



3. BACKGROUND INFORMATION

3.1.       IT ACTIVITIES OF DG TAXUD

3.1.1.    IT IN SUPPORT TO POLICY

    DG TAXUD coordinates and manages a set of operational activities relying on IT systems in support
    of the European Union (EU) policies for customs, taxation and excise duties. Actually, this comprises
    direct and indirect taxation, tariff strategy, e-Customs, the future Union Customs Code, risk
    management, safety and security, the fight against counterfeited goods, as well as international policy
    objectives.
    TAXUD’s IT systems are a unique instrument to sustain the continuity of operation of a broad range
    of customs and taxation procedures within the EU.
    The main objectives are:
       • To support the uniform management of the Customs Union and to maintain the fluidity of the
         flow of goods at the border of the EU through the availability of customs trans-European
         systems, such as the New Computerised Transit System, the Export Control System and the
         Import Control System. Any unavailability of these systems would have an immediate and highly
         visible adverse impact on the economic activity of the EU, such as lorry queues at the borders and
         ports, loss of containers, distortion in the application of legislation, increased risk of fraud and
         loss in revenue collection etc.

       • To contribute to the fight against fraud:

               o In the area of customs: TAXUD's IT systems support the sharing of risks profile
                 amongst Member States and feed the European Anti-fraud Office (OLAF) with
                 information on sensitive consignments;

               o In the area of taxation: IT systems also allow for a rapid exchange of secure
                 information and thus for the efficient fight against different types of tax fraud. This is
                 the case in the areas of:

                      VAT, through the VAT Information Exchange System;

                      savings through the Taxation on Savings system;

                      administrative co-operation and mutual assistance;

                  or to better control movement of excise goods across the EU.

       • To facilitate the handling of tax and customs procedures for citizens and economic operators by
         enabling the refund of VAT from a Member State (in which an economic operator is not
         established) and through the publication of the most relevant information (including customs
         tariff, balances of tariff quotas, VAT number identification, etc.), contained in its IT systems on
         the Commission’s Europa website.

    Some traders have integrated the availability of the information in their daily processes. Therefore,
    they rely heavily on this service. The success of these services is constantly increasing, with the
    number of queries made by the traders exceeding 120 million requests in 2011.


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3.1.2.    IT SYSTEMS

    Most of the IT systems of DG TAXUD are trans-European systems spanning all Member States (MS)
    of the EU. The users are the National Administrations, the EU traders’ and the Commission Services.
    Other IT systems include systems to manage reference data, test and monitoring applications, and
    dissemination applications to the wide public (e.g. via the Europa web site).

    A Trans-European System (TES) performs specific business functions in Customs or Taxation as
    defined in or in support of Union policies. A trans-European system is a collection of collaborating
    systems (orchestrated and choreographed) with responsibilities distributed across the National
    Administrations and the Commission. It includes processes, applications, services and
    infrastructure.

    All the IT systems have a legal basis2 and receive budgetary support from EU programmes, currently
    Customs 2013 and Fiscalis 2013 for which they represent a significant part of the expenditure. The
    Customs 2013 and Fiscalis 2013 programmes will be replaced by the Customs 2020/Fiscalis 2020
    programmes, which are proposed for the period 2014 – 2020. Information on the [Portofolio of the IT
    systems] is provided in the Annex XI _ Baseline.
    The development of an IT system constitutes a major project to be run over several years.

    The bidders are invited to read the full description of the trans-European systems lifecycle under TEMPO:
    TEMPO:Home -> trans-European System Management -> … trans-European Systems Management
    Reference manual

    An extract from this documentation is provided here below to introduce the notion of the lifecycle, the
    respective phases of the Trans-European System development project and the deliverables.




    2 For example, in 2008 important legal acts for IT systems were the so-called “VAT package”, the future
      Modernized Customs Code (renamed Union Customs Code since then) and the e-Customs decision on a
      paperless environment for customs and trade.




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                                         Figure 1: Trans-European System Development Lifecycle




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As examples of some IT systems, we can mention:


 • In the field of taxation: the VIES network enables the tax administrations to verify trader's
   VAT identification numbers and statements of their intra-EU turnover, the VAT on e-Services
   system provides for the management of the VAT revenues in connection with services provided
   on the internet by non-EU traders, the VAT refund system enables traders to obtain the refund of
   VAT from a Member State in which they are not established, the Taxation on savings system
   enables Member States to exchange information on interest payments by paying agents
   established in their territories to individuals resident in other Member States;

 • In the field of customs: the New Computerised Transit System (NCTS) which provides a fully
   computerised Customs regime for goods which enter into the Common Transit, the Quota system
   enables to publish the tariff quotas and tariff ceiling to the trader community, the Transit system
   enables the customs offices to automatically track and control the movements of goods in transit
   through the EU, the Export Control System provides full control on the conclusion of export
   operations in particular when different Member States are involved, the Import Control System is
   devoted to the import operations, the Surveillance System complements the other customs systems
   and contributes to the fight against fraud by enabling the surveillance of the movement of goods
   inside and outside the EU;

 • In the field of Excise: Excise Movement and Control System (EMCS) allows for the
   monitoring and control in real-time of the movement of excise goods (alcohol, tobacco and energy
   products).

DG TAXUD also makes available, through the Commission’s Europa website, a wide range of
information and services to the citizens and to the traders in order to enable them to consult measures
relating to tariff, commercial and agricultural legislation, tariff quotas, to query authorised economic
operators, to consult the list of transit customs offices, validate VAT numbers, to consult the main
taxes in force in the EU Member States or to query excise numbers.
On 01/01/2009, an electronic connection was launched with Russia to allow for secure data exchange
of TIR movement data, in order to address lorry congestion at the EU-Russia border (currently 3,500
movements supported daily). Currently, a new version of SPEED (namely SPEED2) is under
development, and is expected to be in production in 2013.
All these activities rely on a secure and reliable communication between the Member States and the
Commission. This is realised thanks to a private common communication network (CCN) that
TAXUD has developed and operated for more than 10 years across the European Union and which
transports and exchanges a massive amount of messages and information (1,2 billion of messages have
been exchanged in 2011 (18% increase against 2010) and 3,3 terabytes of application data (30%
increase against 2010).
In particular, in the context of EU enlargement, connecting the candidate countries to the network is
one of the first IT activities to be started well before the target enlargement date.
The Common Communication Network (CCN), given its central role, is an important component of
the whole IT architecture to ensure the security, availability and continuity of the service. It is
managed by the Commission and has evolved over the years in the biggest network linking the
Commission and Member States, in terms of number of application data exchanges and probably
among the largest administrative networks worldwide. In coming years, this network will move
towards an interoperability-enabler interconnecting more services.


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3.1.3.    GOVERNANCE

    Experience suggests that the time to develop and deliver a trans-European IT system ranges from
    2 to 8 years according to the complexity and the level of implication of the Member States. This
    demands to manage each Trans-European IT project under strict governance, using a proven project
    management methodology.
    The management of Trans-European IT projects involves different levels of governance, involving the
    Commission and the National Administrations.
       • DG TAXUD is assisted by Comitology committees such as the Customs 2013, Fiscalis 2013
         committees, and the Standing Committee on Administrative Cooperation. These groups are each
         supported by a sub-committee dedicated to IT matters. Each IT sub-committee meets several
         times a year under TAXUD's chairmanship with the participation of heads of IT from National
         Administrations.

       • Technical Experts' groups with the National Administrations to deal with technical related
         project matters which meet with a frequency from monthly to quarterly according to the pace of
         development. Each TES and IT Services from the Commission are overseen by such a working
         group (ex: Electronic Customs Group, Union Customs Code Group, etc.).

    DG TAXUD also needs to ensure that any decision on IT matters is taken in full understanding of the
    context, challenges, impact and associated risks. This is why DG TAXUD applies internally strong IT
    governance. All the IT systems are managed under the supervision of an IT Steering Committee,
    chaired by the Director General and composed of the board of Directors and the head of the financial
    and human resource unit. The IT Steering Committee meets regularly (quarterly on average) and takes
    decisions on IT working plans, priorities and resource allocation upon proposal from the IT units.


3.2.       RECENT ACHIEVEMENTS AND FUTURE DEVELOPMENTS
    The capacity demonstrated over the last two decades in the creation of successful IT systems
    supporting the integration of customs and fiscal administrations in the EU has positioned IT at the
    heart of the European construction in the areas of customs and taxation.
    In particular, for Customs, the e-Customs Decision underlined the central role of DG TAXUD in the
    creation of systems supporting the customs union and generated the need for a number of new trans-
    European systems successfully deployed over 2009-2011. The Union Customs Code and its
    implementing provisions added a new challenge for IT since it requires reassessing the whole of the
    customs procedures and underlying IT systems in order to meet the diversity of expectations from the
    different stakeholders. Specification work with the Member States has started with the definition of
    the business process models, the development of an IT Master Plan and of a reference enterprise
    architecture of customs systems.
    The perspectives for developing new IT systems under Taxation spanned over 2009 for VAT refund
    systems and over 2010 for the systems related to Recovery and Direct Taxation. In the longer term
    (2015), the one-stop-shop IT system will greatly simplify the tax declarations for e-commerce,
    telecommunication and broadcasting activities throughout the EU.
    The years 2009-2011 were unique in terms of the high number of IT systems deployed into operations.
    A strong commitment and collaboration between the Member States and the Commission was required
    to respect deadlines:
       • A batch of Customs systems were deployed by 01/07/2009: the system for economic operators,
         the upgrade of the transit system for security, anti-fraud information, enquiry and recovery
         procedure, and the upgrade of the export control system.


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       • A batch of Taxation systems were deployed by 01/01/2010 (several improvements of the quality
         of data under the VAT network, the VAT package, and the upgrade of the Europa services on
         VAT). The exchange of electronic forms for the recovery of claims, for mutual assistance in the
         field of direct taxation, and for Council Regulation (EC) No 1798/20033 and Commission
         Regulation (EC) No 1925/20044 in VAT was deployed as well. Also, common projects were
         launched concerning e.g. exchange of eForms, self-testing services, statistics and exchange of
         administrative information. In 2011 a new version of the Taxes in Europe Database (TEDBv2)
         was deployed as well as a new release of Recovery e-Forms for Council Directive 2010/24/EU5.

       • The new Import Control System (ICS), the upgrade of the integrated Community tariff
         management system followed in 2010, together with the entry into operation of the Excise
         Movement Control System (EMCS), which improves the functioning of the Internal Market and
         helps fighting fraud.

       • Also a new version of CCN was put in production, as well as a new service management tool
         (Synergia).

   DG TAXUD may anticipate an increase of the volume of IT activities and IT operations for the
   years to come. This is due to the future deployment of additional customs IT systems as a result of the
   e-Customs Decision and the Union Customs Code, the operation of the EMCS in its full capacity (due
   to its expansion into Phase 3), of the VAT package, and possible additional systems for exchange of
   data between the EU and third countries such as Japan, China and US, and the Eastern neighborhood.
   In order to cope with the new IT systems and the expected growth of the traffic, the private Common
   Communication Network (CCN) will need to be upgraded as well. This concerns not only its capacity
   but also its security and its overall architecture.
   Further details are available from the [Portofolio of the IT systems] in the Annex XI -Baseline,
   together with the [overall planning information]. This represents the information which is available at
   the time of writing the call for tenders which may differ from the status of the projects at the time of
   take-over by the QA3 contractor.
   Information on the SMT tool [Synergia] is available from the Annex XI - Baseline.


3.3.       IT ORGANISATION OF DG TAXUD
   The Information Technology Steering Committee (ITSC) of DG TAXUD acts to ensure high-level
   authorisation for IT projects in line with the principles of good management and financial governance,
   under the overall supervision of the IT governance bodies of the Commission.
   The Stakeholders for DG TAXUD information systems are the Commission, National
   Administrations, traders or the public in general.
   The Information Technology Units (R4 and R5) are responsible for administering the computerisation
   activities of DG TAXUD in line with the policies of the DG. This includes the provision of business-
   critical operational services and central information systems necessary for the support of the National
   Administrations and Commission services.




   3
     OJ L 264/1, 15.10.2003
   4
     OJ L 331/13, 05.11.2004
   5
     OJ L84/1, 31.03.2010

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The mission of the Information Technology Units is to:
 • Develop and operate secure Information Systems (IS) and transmission services appropriate to
   beneficiaries in DG TAXUD, Commission departments and Member State administrations;

 • Maintain and develop a coherent Information Systems Architecture consistent with the
   Commission standards policy, allowing interoperability of administrations in the EU and partner
   countries for the benefit of the Customs and Tax policies;

 • Provide and support efficient office automation facilities for approximately 550 staff of the DG
   TAXUD.

Units R4 and R5 are sub-divided into sectors as follows:

      R4 Taxation Systems & IT Compliance                         R5 Customs Systems & IT Operations

      PS - Resources and            TAXATION TES                  ISD – Infrastructure          EAS-Enterprise IT
          governance                                                                              Architecture
                                                                  & Services Delivery

 •   Governance               •   VAT Systems (VIES,          •   Office Automation        •   Customs IT arch. &
 •   Budget, Contracts and        VoW, VAT eForms, VAT        •   Infrastructure & BCP         strategic plans
     HR                           refund, Mini1SS, VoES)                                   •   BPM modelling tool
                              •   Recovery Systems
                                                              •   Tools and Processes
                                                                                               assistance &
 •   Contract Mgmt (QA2,
                                  (Recovery eForms)           •   Service Management           maintenance
     TIMEA, CUSTDEV2,
     FITSDEV2, ITSM2 lot2)    •   Direct Taxation             •   Contract management      •   CCN architecture &
                                  Systems (Taxation on            (ITSM, CCN/TC,               development
 •   TEMPO
                                  savings, Mutual                 CCN/WAN, ITSM2 lot 1,
 •   Quality Assurance            assistance)                     ITSM2 lot 3, CCN2-DEV)   •   Business to IT alignment

 •   Inventory                                                                             •   Preparation for unit’s
                                                                                               participation in
 •   Meetings and Trainings                                                                    government bodies

      LISO- Info Security             EXCISE TES                                           CIS - Customs IT Systems
                                                                                           •   Development lifecycle of
                                                                                               all customs IT systems
 •   Local Information        •   EMCS - Excise Movement
                                                                                               (TARIC, NCTS, ECS,
     Security Officer             and Control Systems
                                                                                               EBTI)
                                  (SEED, SEED-on-Europa,
 •   IT Security                  MVS e-forms, EWSE e-                                     •   Planning for systems
     Management                   forms, TA, CS/MISE)                                          development &
 •   Risk Management          •   TES Architecture
                                                                                               deployment and
                                                                                               maintenance
                              •   TES Governance
                                                                                           •   Supervision of
                              •   Collaborative development                                    operational functioning
                                                                                           •   Application development
                                                                                               framework
         HORIZONTAL                BUSINESS Oriented              HORIZONTAL                       BUSINESS Oriented


                                       Figure 2: IT organisation in DG TAXUD

The Unit R4 is divided into four sectors:
 • Resources and governance sector (R4/PS): is a “horizontal” sector involved with governance,
   budget, contracts and project management, and human resources. R4/PS provides services to all
   the other sectors of IT units R4 and R5. R4/PS manages the QA2 framework contract, the
   development contracts (FITSDEV2 and CUSTDEV2), and the new ITSM2 Lot2 contract. R4/PS
   will manage also the QA3 framework contract;

 • Excise Trans-European Systems sector (R4/EMCS): defines, maintains and evolves, in close
   cooperation with the Member States and on the basis of the EU legislation in place, the IT

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    systems related to monitoring and controlling in real-time the movement of excise goods (alcohol,
    tobacco and energy products) for which duties still have to be paid. These systems are designed to
    simplify the administrative procedures for the traders involved in intra-EU movements of excise
    goods, while securing the fiscal revenue of the Member States. The sector also coordinates with
    the Member States to ensure the constant level of quality and correct functioning of these trans-
    European systems while in their operational phase. It is responsible for Taxation & Excise TES
    Architecture and governance and for exploring the potential of collaborative development
    amongst the Member States;

 • Taxation Trans-European Systems sector (R4/TAX): defines and creates EU-wide IT systems
   aiming at supporting the fight against fraud or simplifying the VAT compliance obligations, in
   close cooperation with the Member States. In the field of VAT the two main systems are VIES
   and VAT Refund. Part of the functionality of VIES is also used by the general public via the
   VIES-on-the-Web application. The sector has also developed standardised eForms to smoothen
   and fasten the administrative cooperation in the field of VAT, Recovery of Claims and mutual
   assistance for Direct Taxation. The sector has developed and maintains the Taxation on Savings
   system and the Taxes in Europe database;

 • Local Informatics Security Officer (LISO): defines the DG TAXUD-specific Information
   Security Policy compliant with the EC Security Policy, oversees the development of security
   plans approved by DG TAXUD and monitors its implementation, develops information security
   awareness and training programmes, maintains an inventory of information systems, with a
   description of security needs, advises and reports on information systems security matters.

The Unit R5 is divided into three sectors:
 • Infrastructure and Service Delivery (R5/ISD): The sector is responsible for:

         o Providing office automation services (supply the office automation equipment, user
           support, helpdesk, management of IT logistics including acquisition, move and
           decommissioning).
         o Managing the infrastructure used by the Information Systems in support of the Customs
           and Tax policies, the DG TAXUD specific administrative processes.
         o Assuring continuity of operation of the IT function in case of disaster.
         o Operating the infrastructure allowing interoperability of administrations in the EU and
           partner countries for the benefit of the Customs and Tax policies (CCN contracts).
         o Managing the IT Operations (ITSM contract).
         o Designing and implementing the IT operation processes in DG TAXUD and all its
           suppliers.

 • Customs IT Systems (R5/CIS): The sector is responsible for:

         o The system development lifecycle of all Customs IT systems.
         o The maintenance of the operational planning for systems development and deployment.
         o The co-ordination of the implementation and maintenance of all Customs IT systems in
           EU in collaboration with internal and external stakeholders.
         o The supervision of their operational functioning and the production of related statistics,
           dashboards, etc.
         o The system development lifecycle methodology for all Customs IT systems.
         o The application development framework of all Customs applications.
         o The maintenance of a repository of all artefacts of Customs IT systems.

 • Enterprise IT Architecture and Strategy (R5/EAS): The sector is responsible for:


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               o The overall Customs IT architecture and IT strategic plan.
               o Providing assistance to Customs business units for the correct use of the BPM modelling
                 tool.
               o Maintaining in the BPM modelling tool, in close cooperation with the Customs units and
                 CIS, a coherent view of the enterprise architecture, including its business data, business
                 processes, business rules and technical IT plan.
               o Providing advice to Customs policy units for the optimal use of IT in reaching their policy
                 objectives; to assure this duty, the section shall represent the unit in coordination groups
                 created either internally or with the participation with MS in view of policy coordination
                 and development.
               o The technical studies, architecture and development of the CCN platform.
               o The overall coherence of IT architecture of DG TAXUD, which operationally is
                 implemented by the sections ISD and CIS.
               o Assuring the secretariat of DG TAXUD's architecture board and through this body
                 promoting business to IT alignment.
               o Preparing the unit's participation in governance bodies, such as the ECG IT and legal, the
                 IT steering committee, the High-level group for the UCC, etc.

    In addition to the above, DG TAXUD Unit A3, in the Customs area, is in charge of UCC and BPM
    functional structure to define, in close cooperation with the Member States, the requirements and
    business process models of the customs IT systems related to the Union Customs Code and its
    implementing provisions. Unit A3 is a policy-oriented unit which is a direct consumer of IT services,
    e.g. it interacts with the CUSTDEV2 contractor for development of business process models, and with
    QA contractor for the related QC services.
    The QA3 contractor will have to interface with and provide QA/QC services to all the sectors of units
    R4 and R5, and to unit A3. It is to be noted that some changes in this organisation may occur during
    the course of the QA3 framework contract and the QA3 contractor will have to accommodate (e.g.
    new IT organization, other policy-oriented units directly involved), to which.


3.4.       IT CONTRACTORS OF DG TAXUD
3.4.1.    DG TAXUD IT VALUE CHAIN

    DG TAXUD relies on the Commission's DG for Informatics (DIGIT) for hosting part of the IT
    systems. In parallel, DG TAXUD outsources the bulk of its IT activities to external service
    providers, which are contracted through public procurement procedures in compliance with the
    Financial Regulation. The products and services supplied are all subject to a systematic quality control
    and testing as part of the acceptance procedures.
    Currently, units R4 and R5 rely on several external contractors to perform their duties (refer to
    Figure 3 below for a graphical representation of the current contracts):
       • Two development contractors (CUSTDEV2 for Customs, FITSDEV2 for Taxation);

       • One IT service management contractor (ITSM);

       • One provider for building infrastructure (Data Centre Building Facilities);

       • One common network provider (CCN/WAN2);

       • One network technical centre (CCN/TC) in charge of the CCN/CSI developments and operations;

       • One quality assurance/control contractor (QA2);

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 • Several consulting contractors to perform strategic studies and analyses.

The IT value chain of DG TAXUD is depicted below:




                                   Figure 3: DG TAXUD IT Value Chain




External Integration is defined as the set of activities that are needed to integrate DG TAXUD's IT
systems with those of the National Administrations (NAs) to deliver the expected business solutions.
These comprise planning, scope definition, systems definition, and specification; follow up of NA
activities, synchronisation, enterprise architecture town plan, and others.
IT systems development and maintenance is one of the two main production activities of the IT
units of DG TAXUD, it includes the multitude of development and maintenance activities for all
Customs, Taxation, Excise systems as well as for CCN.
IT systems & Infrastructure operation is the second main production activity of the IT units of
DG TAXUD, providing:
   • The operations of all applications;
   • A stable, documented, managed and secure ICT infrastructure;
   • The setup and maintenance of harmonised processes and service management tools.
Internal integration is the set of activities that TAXUD/R5 has to do internally to streamline and
harmonise its architecture and services delivery. Much of this process is supported by TEMPO,
internal governance arrangements, planning, reporting etc.

Quality Assurance and other support services (FIN, HR, SEC, etc.) are activities, processes that
are shared activities between TAXUD/R4 and TAXUD/R5 and performed by the sector
TAXUD/R4/PS and TAXUD/R4/LISO. QA is quality assurance and quality control of the IT


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services and deliverables supplied to DG TAXUD by all its suppliers including conducting regular
security and quality audits of them. Other support services concern financial aspects, human resources
and secretariat.




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3.4.2.      AS-IS DG TAXUD CONTRACT ORGANIZATION OVERVIEW (JULY 2012)

The existing structure of DG TAXUD contracts6 is depicted in the diagram below. Development
services are delivered by the CCN/TC, CUSTDEV2, FITSDEV2 and ITSM contracts, the later being
restricted to support "Service Management related tools" and facilities necessary for the IT service
management and related activities.
Operations rely on ITSM, CCN/TC, CCN/WAN2 contracts, the Data Centre (DC) Building Facilities
and the Data Centre service of DIGIT.




                                              Figure 4: DG TAXUD's Current Contracts




6
    With the exception of DIGIT as there is no contract between DG TAXUD and DIGIT but a Memorandum of Understanding.




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The ITSM contractor is the current provider of IT Service Management on behalf of DG
TAXUD for excise, taxation, and customs business threads, except for the CCN/CSI service.
The contract includes development and maintenance of its own "Service Management related
tools" of which some are also used by other contractors (referred to as Synergia).

CUSTDEV2 is a development and maintenance contract, which consolidates all customs-
related development. The CUSTDEV2 contractor provides specification, development,
maintenance and support services for all customs IT systems.

The FITSDEV2 contractor provides specification, development and maintenance services for
the taxation and excise systems and applications as it is currently in operation.

The CCN/TC contractor provides CCN/CSI service management including its service desk for
the NAs and various contractors of DG TAXUD, service delivery and support, ICT
Infrastructure management, operations management, security management as well as its
application development.

DC Building Facilities is the contract that provides the locations for the two Tier IV level
Data Centres in Luxembourg that will be used by DG TAXUD. All infrastructure hosted by
ITSM and CCN/TC will be regrouped in these Data Centres, and will be operated by the future
ITSM2 lot 1 contractor.

The CCN/WAN2 contractor provides the private secured IP network services of CCN
including their maintenance.

DIGIT is the IT General Directorate of the Commission. DIGIT has responsibility for the
Commission's Data Centre (DIGIT/DC) which hosts part of the DG TAXUD information
systems.

The QA2 contractor is responsible for TEMPO maintenance quality assurance and quality
control of the IT services and deliverables provided by the others IT contractors of DG
TAXUD.

3.4.3.   TO-BE DG TAXUD ORGANIZATION OVERVIEW

Customs and tax administrations face major challenges that will require continued and
improved support of IT. The introduction of the Union Customs Code (UCC) as of 2013 and
the e-Customs initiative are examples of these business challenges.
In order to respond to these challenges, it is considered necessary:
     • To continue the consolidation of its IT service management, so as to increase the
       effectiveness and efficiency of the services it supplies to its beneficiaries. In order to
       do so, the IT service management call for tender TAXUD/2010/AO-13 (ITSM2) that
       was published in the Official Journal7, comprised three (3) lots for the execution of
       services for five (5) years:

            • ITSM2 Lot 1 - IT service management, covering applications management,
              operations, hardware infrastructure and building infrastructure for both CCN
              and central applications; Lot1 integrates IT systems and infrastructure



7 Official Journal S 189-308057, 01.10.2011,
  See also http://ec.europa.eu/taxation_customs/common/tenders_grants/tenders/archives_en.htm

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                  operation, merging the previously repeated CCN/TC operation and ITSM
                  operations.

               • ITSM2 Lot 2 - trans-European systems management. This lot will provide
                 support services for the coordination of implementation of trans-European
                 systems in Member States.

               • ITSM2 Lot 3 - Operations integration and control. This lot aims at providing
                 advice for IT architecture, service management, service control, service
                 improvement, change management and benchmarking.

        • To renovate CCN so as to modernise the existing facilities and create the new facilities
          necessary for the support of the existing political and operational objectives (CCN2-
          DEV). The CCN2-DEV framework contract shall provide essentially 3rd level
          support, maintenance services and development services for the existing CCN/CSI
          and future CCN2 Platform Infrastructure. A call for tender TAXUD/2011/AO-13 has
          been published in the Official Journal8.

        • To ensure continuity of the developments contracts and plan the currents CUSTDEV2
          and FITSDEV2 framework contracts will be replaced by the FITSDEV3 and
          CUSTDEV3 framework contracts.




8
    Official Journal S 112-184877, 14/06/2012
    See also http://ec.europa.eu/taxation_customs/common/tenders_grants/tenders/index_en.htm

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The target organization to be reached during 2013-2014 represents the current vision of DG
TAXUD, without prejudice to further evolution as the need may arise.




                            Figure 5: Support Contracts' Target Situation at DG TAXUD

With regards the other layers of the IT value chain:

      •    External integration will be supported by the ITSM2 Lot 2 contractor

      •    Internal integration will be supported by the ITSM Lot 3 contractor.



       3.5. STRATEGY FOR QUALITY MANAGEMENT

"Quality management is a method for ensuring that all the activities necessary to design,
develop and implement a product or service are effective and efficient with respect to the
system and its performance."9 In the context of DG TAXUD IT activities, quality management
includes as well activities related to the IT service management, once a product/service is
operational.
Quality management is composed of two complementary sub-layers:

       •    The Quality Assurance (QA) sub-layer which defines the quality framework in which
            the project takes place; it is based on the TEMPO Quality Methodology;


9
    Definition from Wikipedia, the free encyclopedia.


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       •       The Quality Control (QC) sub-layer performs the verification and validation of the
               quality of the deliverables produced by the contractors during the project within the
               quality framework defined by the QA sub-layer.
In order to produce quality deliverables (documents, software, services, etc.) it is necessary to
implement both quality sub-layers. The QA must be followed and reflected by the QC in order
to be effective. The QC is almost impossible without the QA defining the QC scope and
objectives but also the means to reach them. This implies that the QA and QC functions are
mutually dependent.

DG TAXUD has TEMPO as a quality driven methodology and requires the contractors to
abide by the quality principles defined in TEMPO. These quality principles are specifically
described, enforced and monitored through the PQP, FQP, CQP, as well as via the Specific
Quality Indicator (SQI) and SLA/OLA mechanisms.

DG TAXUD has put in place a QA contractor who helps with the monitoring and the
assurance that the projects are conforming to the quality principles defined and applied in the
pertinent SLA/OLA and quality plans, on the basis of the TEMPO methodology. The QA
contractor performs dedicated QA, QC or other quality oriented tasks.

The bidders are invited to read full description of the Quality Management strategy under
TEMPO: TEMPO:Home -> Quality Management -> … Quality Management Reference
manual.


3.6.       CONTRACT AND DEMAND MANAGEMENT
QA Services are ordered in accordance with the following:
-          The Framework Contract (FWC) identifies the services available and offers a price
           catalogue: services with a unit price, services to be quoted in man / days together with
           the unit price of the profiles available, rules for reimbursement of travel expenses.
-          After the Framework Contract is signed, orders will be placed in the form of Specific
           Contracts (SC) concluded in performance of the Framework Contract. They specify
           the list of services and deliverables concerned for a given period and the way these
           will be ordered:

           -          The "Fixed Price" contracts: are the services and deliverables which may start
                      at the signature of the Specific Contract with an overall sum;
           -          The "On-Demand" contracts: are the services with a unit price which may be
                      ordered by means of a "Request for Actions – RfA". Once an RfA has been
                      issued by DG TAXUD, quantity of the corresponding services becomes
                      available for consumption; these services are then "triggered" by DG TAXUD
                      according to the needs. Once completed the service is accepted normally via
                      the acceptance of the monthly progress report where the related deliverables
                      are listed. Accepted quantities may then be invoiced;
           -          The "Quoted-Time-and-Means" contracts: are the services to be quoted in
                      man / days which may be ordered by means of a "Request for Action - RfA",
                      following an acceptable offer received from the contractor. The offer is meant
                      to answer to a "Request for Estimate - RfE" to be issued by DG TAXUD;




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The mechanism of "On-Demand" services enables DG TAXUD to better align the services
(and budget) with the needs; given the high number of service quantities to be monitored, it
implies that a proper "demand and delivery management" process is put in place to: (a) closely
follow-up the quantities available, services consumption and related ordering, and (b) closely
follow-up the quantities formally accepted and ready for invoicing.

The Specific Contract may as well foresee a budget provision for travels, based on the travels
needed for the services estimated. Travels are ordered by means of RfAs either individually or
in a pool. A careful monitoring of the travel budget consumption is required by both the
contractor and DG TAXUD in order to keep overall travel costs within the budget provision.

The tenderers must refer to the Annex III - Price List of the Tendering Specifications to get the
pricing strategy to be used for QA3 contractor.

The description of the ordering processes (specific contracts, RfAs, triggers) is available from
TEMPO (see TEMPO:Home -> Contract Management -> Specific Contract Management
Referenced Manual).


3.7.    QA/QC SERVICES
This section provides information on the QA/QC services provided to DG TAXUD. This
information does not repeat the work specifications described in the Annex II.B - Technical
Annex, but it comes in support. It also introduces related documents to be retrieved either from
TEMPO or from the Annex XI - Baseline.

To ease comparison, the section is organised using the numbering of the QA3 work packages.
It is based on the current QA activities. It also takes into account the future contractual
situation for the IT service management services (in particular ITSM2 Lot 1 and Lot 2
contracts) which must be the reality for the QA3 contractor.



           3.7.1. INTRODUCTION

All activities and deliverables from DG TAXUD IT activities' contractors are under quality
control of the QA contractor.

The [Framework Quality Plan] of the incumbent QA contractor is available from the Annex XI
- Baseline; it provides information on the way the QA services are implemented by the
incumbent contractor. Its annexes provide templates and examples.

The training material available from TEMPO (TEMPO: Home -> Training) is addressed to
DG TAXUD's staff and contractors. It is prepared by the QA contractor and covers most of the
QA/QC processes. It constitutes as well a good information base.

Most of the activities of the incumbent QA contractor will be continued under the new QA3
contract. Some of them might be upgraded in terms of requirements. The Technical Annex of
the QA3 contract provides the full set of requirements to be fulfilled. It keeps the same
numbering of the work packages as applied today and described in the FQP of the incumbent
QA contractor.

The Technical Annex of the QA3 contract also includes new and additional work packages:


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   •   WP.4.6 Extended technical meetings with the Commission and/or other 3rd parties
       involved in the related projects

   •   WP.9.7.2 Management of the user groups under CIRCA/CIRCABC (and any of its
       successors) for use within the review cycles

   •   WP 9.10 Project Management support

To be noted: WP 9.7.1 in the QA3 contract corresponds to WP 9.7 of the FQP of the
incumbent QA contractor.

The sectors from the IT units (R4, R5) and A3 unit rely on the QA/QC services. It is to be
noted that processes and procedures with regards to QA/QC services may present some
differences according to which sector is concerned. The QA/QC services are also subject to
continuous improvement process. In this context, the QA3 contractor has to be ready to
accommodate the status of the QA/QC services as they will be delivered at the time of take-
over and to be ready to accept any remaining differences in the processes applied by the
individual sectors by that time. The reference will in any case be the specifications as
described in the Annex II.B - Technical Annex.

The Annex XI - Baseline includes the [QA quantities engaged] since the start of the previous
QA Framework Contract overall and per sectors. There is one sheet per Specific Contract (of
duration of 1 year) which records the quantities which we engaged on a monthly basis (for
activities under fixed price, on-demand, and quoted times and means).

       To be noted: the volumes are expected to grow in the future, especially with the
       development activities in Customs area.

The Annex XI - Baseline includes the [Example of technical documentation from other
contractors], i.e. documentation which is issued by the other contractors.




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           3.7.2. WP.0 PROJECT MANAGEMENT

The QA3 contract is managed administratively by the PS sector.

The PS is in charge of demand and delivery management, in particular following consumption
information provided by the QA3 contractor, ensuring that quantities of standard QA/QC
services (i.e. services with a unit price) are always available to be triggered and used by the
QA/QC customers (the sectors of units R4 and R5, unit A3 and any other TAXUD units in the
future that will require services from QA). The PS orders additional quantities by issuing
RFAs. In case there is a need for support activities (priced in terms of man/days) an RFE/RFA
process is performed. The QA contractor meets the PS sector on a weekly basis, to review the
status of the RFEs/RFAs, the quantities consumed / to be ordered, any contractual aspects
needing follow-up.

The PS also follows-up and coordinates the QA/QC services with the sectors (during progress
meetings and on a daily basis).

The QA3 contractor provides QA/QC services to all sectors of units R4 and R5 and to unit A3.
It constantly interacts with them on technical matters and services in relation with the QA
activities.

From an operational point of view, the QA3 contractor is organised around SPOCs (Specific
Points Of Contacts), i.e. dedicated staff to a specific sector / business thread who ensures the
interface between TAXUD and the respective QA teams, whilst keeping the business
knowledge:

    o   the LISO (Local Information Security Officer in Unit R4): in charge of all security and
        continuity aspects;

    o   the IT operation (currently assigned to Unit R5 ISD sector) in charge of the ITSM and
        CCN, including development of ITSM service management and tools and CCN/CSI
        development by CCN/TC (later CCN2-DEV)

    o   the Customs Business (currently assigned to unit A3): responsible for the BPM and
        some of the system functional specifications, looking for support for coordination with
        the Member States;

    o   the Customs IT systems (currently assigned to unit R5 CIS sector);

    o   the Taxation IT systems (currently assigned to Unit R4 Tax sector);

    o   the Excise IT systems (currently assigned to Unit R4 EMCS sector);

    o   the TEMPO methodology management (currently assigned to Unit R4 PS sector);

    o   the QA contract management and the audit of contractors management (currently
        assigned to the unit R4 PS sector);


The monthly progress meeting is organised on a monthly basis and lasts half a day. Details of
the monthly progress reports are to be found in the annex of the [QA2 Framework Quality
Plan] in the Annex XI -Baseline.




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The monthly progress meetings are complemented by weekly meetings with PS on demand
and delivery management (including follow-up of RFEs and RFAs, follow-up of quantities,
any contractual aspects needing discussion/decision, overall operational status).

Informal steering meetings are organised on a quarterly basis between the QA3 contractor and
DG TAXUD (the Head of Unit R4, the PS sector leader and the QA contract manager). The
aim is to review progress and the level of quality of the main services provided, to address any
risk perceived at QA side or at the level of the other contractors, to review contractual status,
to address any issues, and to enable free exchange of views.

A new report has been added for QA3 contractor, this is the acceptance report which is meant
to ease administratively on TAXUD side the acceptance of the QA3 deliverables. It is
described under WP 0.8 (see Annex II.B - Technical Annex). This report is to be delivered by
QA3 contractor prior to any acceptance letter can be delivered by DG TAXUD.

The specifications for the Deliverable Tracking Matrix (DTM) are available from TEMPO (see
TEMPO:Home -> Tools ->…. DTM example). An extract of the DTM used by the QA
contractor [QA DTM] is available from the Annex XI - Baseline.

The SQIs (specific quality indicators) are computed in the DTM for the QA document
deliverables and in another specific sheet for the SQIs related to the coordination of the
reviews (WP 9.7.1) and for other services.

           3.7.3. WP.1 SET-UP AND MAINTENANCE OF RESOURCES

The QA3 contractor manages the TEMPO dissemination environment which is available from
CIRCA/CIRCABC (see WP 9.8).

        CIRCA/CIRCABC is a groupware service offered by the Commission to share
        documents with external parties. CIRCA/CIRCABC enables to assign a community of
        users to a given interest group, and to further manage the access to document and
        library folders within that interest group. It is available from Europa web site.

A mission critical function for the QA has revealed to be the dispatching of e-mail messages
(IN/OUT), especially in the context of its coordination of the review cycles of the documents
provided by the other contractors (see WP 9.7). Indeed, with WP 9.7, the contractor is the main
responsible for the proper follow-up of the review cycle of document deliverables from other
contractors, it represents DG TAXUD, so any incidents in the dispatching (e.g. wrong
reviewers selected, delays to launch the review cycle) has direct contractual impact. The QA
contractor relies on CIRCA/CIRCABC to perform the management of the review cycles under
WP 9.7.

The QA3 contractor may organise conference calls, e.g. in the context of testing activities
(conformance testing, pre-SAT, etc.).



           3.7.4. WP.3 TRAINING/WORKSHOP/DEMONSTRATION,                             MISSIONS
                  AND CONSULTANCY

The TEMPO trainings provided by the QA3 contractor are available from TEMPO
(TEMPO:Home -> Training).



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The QA3 contractor is also requested by DG TAXUD to attend some training sessions
provided by the other contractors (development contractor, operations contractor) e.g. in the
context of hand-over/take-over activities or training sessions to Member States representatives.
This may help the QA3 contractor to understand the technical aspects of the application /
systems developed and so to improve its own QA/QC services. Work package 3.2 is thus an
important activity for the QA3 contractor to improve its maturity on the IT systems of DG
TAXUD.

Training video recording is a new requirement applied for QA3 contractor.

The QA3 contractor can also be requested to perform ad-hoc missions on-site at the premises
of a 3rd party (external contractor, National Administration, Partner Administration, etc.)
involved in TAXUD IT systems. A mission normally involves one QA representative and may
last in average 2 working days (travelling time excluded)

           3.7.5. WP.4 COORDINATION WITH INVOLVED PARTIES

This work package provides to the QA3 contractor for an important mean to: (a) improve its
maturity on the IT systems of DG TAXUD and keep close contact with DG TAXUD and the
other contractors (use of technical meetings and extended technical meetings), (b) have a
platform for better coordination (Service Monthly Meetings) and (c) to follow-up the
discussion and decisions taken by the management/technical committees (Committee
meetings).

           3.7.6. WP.9.1 MAINTENANCE OF THE PROGRAMME QUALITY
                  PLANS

•    The following PQP are available and will need maintenance:

•    the [CUSTOMS PQP] (see Annex XI - Baseline)

•    the [Excise PQP] (see Annex XI - Baseline)

•    the [Taxation PQP] (see Annex XI - Baseline)

The PQP template has been developed by the incumbent QA contractor and is available from
TEMPO (TEMPO:Home -> Quality Management -> Quality Planning).

           3.7.7. WP 9.2 AUDITS OF OTHER CONTRACTORS

The audit process is a process which lasts several months (refer to the planning of WP 9.2
deliverables in the Annex II.B - Technical Annex of the Tendering Specifications).

DG TAXUD expects that each contractor is audited once a year and a half (quality audits) to
check compliance of the procedures to the contractual requirements and the applicable quality
plans. Security audits are performed on ad hoc basis. Due to the internal organisation of the
contractor (which may be a consortium) to be audited and its geographic set-up to provide the
services, it may be required to visit several sites during one audit.

The standard Audit process followed by the QA3 contractor is summarised in an "audit fact
sheet" available from TEMPO (TEMPO:Home ->Quality Management -> Quality Assurance /
Quality Control). The Templates for Audit Plan and Audit Report are available from TEMPO
at same location.


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A security audit reference manual is also available from TEMPO (TEMPO:Home Security
Management -> Security Audits).

            3.7.8. WP 9.3 QUALITY MANAGEMENT

This is a new activity compared to the current QA activities. This work package is devoted to the
continuous improvement of the quality of the IT activities amongst DG TAXUD and its contractors, on
the basis of the analysis and recommendation made by the QA3 contractor.

It is based on overall quality measurement and analysis by the QA3 contract with feedback to
DG TAXUD and its contractors in a context of continuous improvement process. The concept
of the Quality Managers Meetings (QMM) together with the QMM forums launched under the
current contract is kept and re-used as a way to address the communication with the other
stakeholders.

            3.7.9. WP 9.4.1 QUALITY CONTROL OF THE                                 DOCUMENT
                   DELIVERABLES FROM OTHER CONTRACTORS

DG TAXUD approach is that all document produced by a contractor for review by DG
TAXUD (except documents containing financial and/or company confidential information) are
to be reviewed by the QA contractor.

WP 9.4.1 is a very important activity for TAXUD but also for QA3 contractor since it will
enable the QA3 contractor to follow the whole life cycle of an IT system/application from
studies to development, testing and operation, and to have access to the whole technical
documentation. For example, at the time of QC of a SAT (see WP 9.6.2), the test plan used by
the ITSM2 contractors during the SAT has been reviewed previously by QA contractor under
WP 9.4.1.

The Technical Annex now distinguishes between two types of review:

-     full scope review, where the QA3 contractor is involved in all meetings during the
      document elaboration phase so it can master the full scope of the review to be performed,
      and proceed with after-review meeting with DG TAXUD to align comments strategy for
      next similar review.

-     quality only review, where the QA3 contractor is involved at the document review time
      and restricts its review to a quality check.

Documents to be reviewed currently exist in different formats:

         *.doc, *.txt
         *.mdb
         *.ppt
         *.xls
         *.mpp
         *.vsd
         ARiS models available from the BPMool

Rules for page counting are described in the FQP.




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             3.7.10. WP 9.4.2 QUALITY CONTROL OF THE SERVICE LEVEL
                     MANAGEMENT PROCESSES OF THE OTHER CONTRACTORS

The focus for the QA3 contractor is currently the Service Level Management processes of the
three (3) contractors in charge of operations (CCN-WAN2, CCN-TC and ITSM). In the future,
operations will be provided by CCN-WAN2, ITSM2 Lot 1 and ITSM2 Lot 210 contractors.
The SLM processes of the X-DEV contractors might as well be added later on, if DG TAXUD
decide so.
The Annex XI - Baseline includes example of [QC of Service Level Management reports].


             3.7.11. WP 9.5 QUALITY CONTROL OF THE CONFORMANCE TESTING
                     AND WP 9.6 QUALITY CONTROL OF THE FAT, PRE-SAT/SAT
                     AND QUALIFICATIONS

The acceptance of the developed software deliverables is based on the conclusions of the
testing reports, which are a synthesis of the comparison between the results of the testing
sessions and the acceptance criteria. Both testing sessions and acceptance criteria are defined
in advance in documents (Test plans, test strategies, test protocols, etc.) that have been
accepted through the formal review process in which QA3 contractor is involved. After
conclusion of the tests, the results are recorded in a report by the contractor in charge of the
testing activities; this report is submitted to the formal review cycle as well.

It is to be noted that, on the one hand, document deliverables related to the testing activity
(such as test plans, test reports, etc) will be submitted for acceptance to DG TAXUD following
a formal review cycle, and the QA3 contractor reviews the documents (QC) during such
review cycle. On the other hand, the QA3 contractor provides a QC service on testing activities
from the other contractors.

Testing documentation is available from TEMPO: TEMPO:Home -> TEST. It details two
approaches currently in use: (a) by the CIS sector of TAXUD unit R5, and (b) by the other
sectors of TAXUD unit R4/R5. Currently QA accommodates both approaches. In a context of
continuous process improvement, testing approach may further evolve in the future towards
harmonisation between the two approaches.

The Annex XI - Baseline includes summary of testing activities under [QC of Testing] tables,
and provides example of [QC of FAT/SAT/pre-SAT/qualifications/CT testing reports].

                     3.7.11.1. WP 9.5 QUALITY CONTROL OF THE CONFORMANCE
                               TESTING (CT)

The QA3 contractor attends the CT activity in the premises of the IT service management
contractor in charge of the CT.

Two types of conformance testing (CT) campaigns may be distinguished:

1) CT for Trans-European systems (as defined under ITSM2 Lot 2):


10
     See IT service management call for tenders TAXUD/2010/AO-13 (ITSM2) that was published in the
     Official Journal S 189-308057, 01.10.2011. See also:
     http://ec.europa.eu/taxation_customs/common/tenders_grants/tenders/archives_en.htm

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They will be referred to as CT category 1 to 4 and concern the conformance tests mode 2 as
described below. By default, all Member States are concerned by such a CT campaign.

The aim of the conformance test is to obtain a technical assurance that the NA is ready to enter
the Trans-European System without risk of disturbing the parties already in operation on the
system.

The life cycle in which the conformance fits, is of three and in some case four successive
steps:
• local conformance test (mode 1): the NA tests its compliance against itself, without
    implication of any contractors;
• conformance test (mode 2): the NA test its compliance against the conformance test
    environment of the Commission, under the supervision of the contractor in charge of the
    IT services management (ITSM2 Lot 2). This is the testing activity of relevance for the
    QA3 contractor;
• international conformance test (mode 3): the NA tests its conformance against other
    voluntary NAs, with the assistance of the ITSM2 Lot 2 contractor (plan, coordinate,
    monitor, support, report) if required. This third test is optional or mandatory as defined by
    the TAXUD business sector with the NAs;
• international end-to-end test (mode 3+): the economic operators from one NA test with the
    ones from another NA thus achieving an end-to-end test. The ITSM2 Lot 2 contractor
    provide assistance (plan, coordinate, monitor, support, report) if required. This mode is
    optional.

The overall plan, co-ordination, follow-up and support for the four steps are part of the
deployment process to be performed by the ITSM2 Lot 2 contractor.

For conformance test mode 2, the ITSM2 Lot 2 contractor verifies the technical compliance of
the national applications against the applicable technical system specifications, using a
conformance test protocol delivered by the Application Development party responsible for
specifying the system.

The conformance test mode 2 is made of two successive tests:
• a pre-conformance test: During the pre-CT, the NA runs the full set of tests as specified in
    the conformance test specification, with the support of the ITSM2 Lot 2 contractor,
• and the conformance test itself: during the CT the NA reruns the same full set of tests
    under the control of the ITSM2 Lot 2 contractor and the QA3 contractor.

 On the basis of the report of the conformance test from the ITSM2 Lot 2 contractor and the
 report of the QA3 contractor, the Commission will:
• allow the NA to enter into operation;
• allow the NA to enter into operation with restriction;
• not allow the NA to enter in operation with the tested application.

Experience suggests that the conformance tests mode 2 are of 4 categories:
• Category 1: checking the connectivity to a Web application;
• Category 2: checking the compliance of file format;
• Category 3: checking the compliance of an application to a light request/response protocol
   and message structure;
• Category 4: checking the compliance of an application to a complex conversational
   protocol and message structure.

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of which the most used are CTs of category 3 and 4.

Experience suggest that conformance tests mode 2 require each NA to go through from 30 to
400 tests cases per conformance test and last in elapsed time per NA, due the number of test
cases and NAs involved:
• category 1: less than a day;
• category 2: few days to few weeks;
• category 3: few weeks to few months;
• category 4: 1 to several months

Experience suggests also that for categories 3 and 4, the duration drops dramatically to few
days/weeks after 5 to 10 NAs go through the conformance tests, as the conformance test
environment (application/script/test data) and associated technical support reach full maturity,
exiting their own “after-care" period.

Experience suggests that mode 3 are performed in few days after the end of mode 2 test and
before the entry in operation, while mode 3+ tests involve 2 to 5 NAs over a few months with
a limited number of activities.

It is to be noted as well that automated testing for CTs is being put in place in particular for
Taxation and Excise. It is expected to increase the quality of the testing service and
consequently reduce the elapsed time per NA by 20%.

2) CT for applications (as defined under ITSM2 Lot 1):

These CT normally belong to the CT category 3 defined in the previous section, are currently
managed by the Unit R5 CIS sector and occur when a given application has a system-to-
system interface implementation, which can/must be used by the National Administrations. In
this case, conformance testing can be organised between a specific National Administration
and the ITSM2 Lot 1 contractor.

The type of tests to be performed depends on the type of interface/protocol, which is
implemented: push, pull or request/reply.

The scope of the conformance tests consists of the NA executing the agreed set of
conformance test scenarios and test cases, under the supervision of the ITSM2 Lot 1
contractor.
.

                   3.7.11.2. WP.9.6.1 QUALITY CONTROL OF THE FAT OF A
                             SOFTWARE DELIVERABLE

The Factory Acceptance Test (FAT) is meant to test as completely as possible any application
software release provided by the contractor in charge of its development before it can be
submitted for deployment to the contractor in charge of IT service management. The FAT is
performed by the development contractor at his premises. Once the FAT is successful, the
software release is passed to the IT service management contractor for further testing under the
operational environment.

When an application is taken over for further development, maintenance, operation or support
by a new contractor (hand-over / take-over activities), a FAT will as well take place to verify
the set-up of the necessary infrastructure and services by the new contractor.

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The QA3 contractor goes on-site, possibly with DG TAXUD representatives, once a FAT has
been performed to verify the result of the FAT and advice DG TAXUD on the "go" or "no go"
decision to proceed further with the testing to be performed under the production environment.



                   3.7.11.3. WP.9.6.2 QUALITY CONTROL OF THE PRE-SAT/SAT OF
                             A SOFTWARE DELIVERABLE

After a successful FAT (Factory Acceptance Testing), the application has to go through Pre-
SAT and/or SAT activities, or to qualification activities which are led by the ITSM2
contractors (ITSM2 Lot 1, and ITSM2 Lot 2 for the functional testing).

1) Pre-SAT

The aim of the Pre-SAT is to ensure that the release can be installed without issues and that the
application runs without any problems. This must allow the ITSM2 contractors ITSM2 Lot 1,
and ITSM2 Lot 2 to continue with the SAT activities independently.

Consequently, the Pre-SAT involves all parties (the development contractor, the operational
contractor and the QA3 contractor) who collaborate to complete the integration of the
respective CI’s until all tests specified in the ATP are concluded satisfactorily. These parties
have the right and obligation to adjust the configuration items for which they are responsible
during the Pre-SAT, in order to achieve full readiness for SAT.

The scope of the Pre-SAT consists of:
   • The installation and configuration of the application (according to the Installation
       Guide);
   • The execution of the automated test plans (if available as defined in the ATP);
   • The execution of confidence testing (set of pre-defined tests in order to verify that the
       application is working fine as defined in the ATP);
   • The verification of the correctness and completeness of the documentation used in the
       Pre-SAT.

At the end of the Pre-SAT, the ITSM2 contractors (Lot 1 and Lot 2) organise and lead the Pre-
SAT closing meeting. The other participants are DG TAXUD and 3rd parties (QA3 and X-
DEV). The scope of the Pre-SAT closing meeting is to discuss the incidents logged during the
Pre-SAT and to allow DG TAXUD to take the "go" or "no go" decision to continue with the
SAT activities.

Experience suggests that a pre-SAT lasts on average from a few hours to a week, according to:
• the effectiveness the co-ordination between development and service management,
• the history and;
• the size and complexity;
of the software to be tested.

During the pre-SAT, QA contractor attends the meetings and trainings organised by the IT
service management contractors (ITSM2 Lot 1 and ITSM2 Lot 2).




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2) SAT
The successful outcome of the Site Acceptance Tests activities is the main condition to rollout
the application release into production. The prerequisite is a successful Pre-SAT.

The scope of the SAT consists of:
   • The installation and configuration of the application (according to the Installation
       Guide)11;
   • The execution of functional testing;
   • The execution of non-functional testing (Performance Testing, Security Testing, End-
       to-End Testing…);
   • The execution of business test scenario's by the system owner;
   • Verification of the correctness and completeness of the documentation used in the
       PreSAT.

At the end of a SAT, the ITSM2 contractors (Lot 1 and Lot 2) organise and lead the SAT
closing meeting. The other participants are DG TAXUD and third parties (QA3 and X-DEV).
The scope of the SAT closing meeting is to discuss the incidents logged during the SAT and to
allow DG TAXUD to take the "go" or "no go" decision for the roll-out of the release in the
production environment.

Experience suggests that a SAT lasts on average from a few hours to a week.

QA contractor attends the SAT activity in the premises of the IT service management
contractors from which the tests are run (ITSM2 Lot 1, and ITSM2 Lot 2 for the functional
testing).

              3.7.11.4.     WP 9.6.3 QUALITY CONTROL OF THE QUALIFICATION OF NEW
                            RELEASES, SERVICE PACKS, PATCH OR HOT-FIXES

The Qualification process is performed by the ITSM2 contractors (Lot1 and Lot2). It is a
formally defined series of tests by which the functional, environmental, and reliability
performance of a component or system may be evaluated in order to satisfy the engineer,
contractor, or owner as to its satisfactory design and construction.

The Qualification activity is mainly used for the acceptance of releases or patches delivered in
the scope of maintenance. It is restricted to software deliveries or data updates scripts
addressing a limited number of problems possessing well-defined and relatively
straightforward solutions. Corrective changes to the application are delivered when allowed
and approved by DG TAXUD.

The scope of the Qualification consists of:
   • The installation of the patch;
   • The verification of the correct implementation of the incidents as specified in the
       release note – ATP.

Experience suggests that a qualification takes from a few hours to one day according to the
number of problems addressed.



11
     This step is skipped if it agreed with DG TAXUD to keep the PreSAT installation.


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QA3 contractor attends the qualification activity in the premises of the IT service management
contractors from which the tests are run (ITSM2 Lot 1, and ITSM2 Lot 2 for the functional
testing).


            3.7.12. WP 9.7 SUPPORT TO THE REVIEW PROCESS

This includes:

        -        WP.9.7.1: co-ordination of the review cycle of document deliverables from
                 other contractors;
        -        WP.9.7.2: Management of the user groups under CIRCA/CIRCABC (and any of
                 its successors) for use within the review cycles

1) WP 9.7.1

In WP 9.4.1 the QA3 contractor acts as a reviewer, whereas with WP 9.7.1 the QA3 contractor
supports DG TAXUD by coordinating, amongst all nominated reviewers, the whole review
cycle of the document deliverables from the other contractors.

The review cycle to be co-ordinated by the QA3 contractor (and referred to as T1/T2/T3
review cycle) is described in TEMPO, see Deliverables lifecycle reference manual
(TEMPO:Home -> Contract Management -> Specific contract management -> Deliverables
Lifecycle Reference Manual). See also the [FQP] of the incumbent QA contract available from
the Annex XI - Baseline for the details of implementation of the review cycle.

By default, document deliverables undergo the full review cycle. A special agreement exists
with DG TAXUD for some types of ITSM documents (i.e. installation reports, installation
plan, environment reports) that the review cycle is closed after T2 in case there are no
comments. This specific case represents currently 24,5% of the review cycle coordinated by
QA3 contractor.

DG TAXUD is using a tool – Comments database, developed in MS-Access which is used to
log all review comments and the author's positions, produce the review meeting decision
report, and produce the verification of the implementation of the comments. The Comments
database is available from TEMPO (TEMPO:Home -> Tools -> Comments database). This
tool is maintained by the QA contractor.

Communication between contractors and DG TAXUD is normally done via e-mails and tasks.

2) WP 9.7.2

WP 9.7.2 (Management of the user groups in CIRCA/CIRCABC) is performed according to
the User Account Management requirements as described in TEMPO (TEMPO:Home ->
Security Management -> User Account Management).

The [CIRCA reviews administration manual] is available from the Annex XI – Baseline.

User Access Management statistics

                                                Sep       Oct   Nov   Dec     Jan   Feb   Mar
                   Apr May    Jun   Jul   Aug
                   11  11     11    11    11
Description                                     11        11    11    11      12    12    12



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Registered
CIRCA Users         377   389   394   399   410    414      389   395   397    410   417   398


Requests to add
users                7     15    8     7    13      7       10    11     3      13   13     3


Requests to
remove users         2     3     1     1     0      2       35     5     1      0     6     22


Requests to reset
passwords            5     1     0     0     1      3        2     0     0      0     0     0


Requests to add
users without
CIRCA
usernames            0     0     0     0     0      0        1     0     0      0     0     0

                    Apr May     Jun
Description         12   12      12

Registered
CIRCA Users         404   414   415

Requests to add
users                9    12     9

Requests     to
remove users        3     0     3

Requests      to
reset password s    0     1     0

Requests to add
users without
CIRCA
usernames            0     0     0




           3.7.13. WP 9.8 MANAGEMENT AND MAINTENANCE OF TEMPO
                   METHODOLOGY

DG TAXUD acts as an integrator of major Trans-European IT systems with a wide user
population within Member State and third country administrations, and for which DG TAXUD
projects are outsourced and are developed and implemented by external contractors. In this
complex environment, therefore, an IT methodology assumes even greater importance to
ensure delivery of the right systems at the right time and at the right cost.

To ensure the consistent and efficient management, set-up, development, operation and
support of projects, DG TAXUD uses the TEMPO methodology for the complete project and
service life cycle. See general information on TEMPO available from TEMPO:Home ->
Introduction.




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Tempo is a repository of 325+ documents providing reference manuals, lifecycle documents,
guides and techniques, and example of best practices in the multi-contractor environment of
DG TAXUD.

TEMPO is made accessible from the Web environment CIRCA/CIRCABC. The TEMPO
hosting environment may evolve in the future. Results from a [study on TEMPO hosting
alternatives] and [Statistics on TEMPO usage] are available from the Annex XI - Baseline.

Under CIRCA/CIRCABC, the documents are stored in the library of the TEMPO interest
group and they are organised within a hierarchy of folders.

There are currently two interest groups defined for TEMPO:

    •   "Tempo+" is mainly available for Commission staff;

    •   "Tempo" is available to Member States Administrations, TAXUD/A3 contractors and
        other external companies.

In addition, the QA3 contractor can also use a "Tempo test" interest group and a "Tempo
archive" interest group for testing of new TEMPO releases and archiving respectively.

In the context of this call for tenders, the access is provided to one interest group (Tempo). See
section 0.5 "References" for the access details.

Information about CIRCA is provided via the help button available once logging to a CIRCA
interest group has been performed. CIRCA training for IG leaders and users are available at
the Commission; the QA3 contractor will be able to follow these trainings in the context of the
takeover activity.

The future evolution of TEMPO as a methodology is dealt with in a document called [TEMPO
Strategic and Tactical Plan]; this document is maintained by the QA3 contractor. It is available
from the Annex XI - Baseline. See as well information published in TEMPO: TEMPO:Home
-> Introduction.

In terms of service management, the [FQP] of the incumbent contractor, available from Annex
XI – Baseline, provides a description of the TEMPO processes as applied today.



           3.7.14. WP 9.9 TECHNICAL SUPPORT TO DG TAXUD AND WP 9.10
                   PROJECT MANAGEMENT SUPPORT

These work packages materialise the need for additional support to the IT activities of DG
TAXUD, which are not included in the "standard" work packages (WP.9.1 to WP 9.8). The
Annex II.B - Technical Annex lists the current areas of activity concerned.

From a global perspective and taking the Deming Cycle (Plan – Do – Check – Act) as
reference:

- WP 9.9 "Technical support to DG TAXUD" concerns several support activities related to
  the Check and Act steps of the cycle

   Review cycles are also used for deliverables which consist of models published by the other
   contractor on a BPM tool (ARIS) instead of CIRCA/CIRCABC. The standard T1/T2/T3

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   cycle is applied with additional activities requested from the QA3 contractor. This is a new
   activity for the QA3 contractor which may still evolve in the coming months. The review
   coordination as such is performed under WP 9.7, additional activities are performed under
   WP 9.9. Same approach will be followed with QA3 contract. Documentation on BPM
   management is available from TEMPO (TEMPO:Home -> BPM).

- WP 9.10 "Project management support" concerns support activities related to the Plan and
  Do steps of the cycle; this was applied e.g. in the context of the Unified Customs Code
  (UCC) project to support the A3 policy unit, in the context of the preparation of the hand-
  over/take-over of IT service management activities, for the set-up of a BMP tool to be used
  in the context of UCC.



Additional information is available from the Annex XI - Baseline:

- a [Service catalogue for support services]

- [extract from the last Request for Estimates (RFEs) for support services] issued by DG
  TAXUD near the incumbent QA contractor and which shows the requirements for the
  support services.

           3.7.15. WP 9.W RESPONSE TO REQUEST FOR INFORMATION (RFI)

This is a "standard" work package in all contracts of DG TAXUD, which gives the opportunity
to the contractor to provide information/clarification on matters in relation with the scope of
the contract, upon request from DG TAXUD.

Experience suggest that an RFI represents in average an effort of 2 hours on the QA3
contractor side.

           3.7.16. WP.A OTHER DELIVERABLES AND SERVICES IN THE SCOPE
                   OF THE CONTRACT

This is a "standard" work package in all contracts of DG TAXUD, which gives the opportunity
to DG TAXUD to order activities which have not been formalised and identified as such with
a pre-defined work package but which fits into the scope of the contract.




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          3.7.17. QUANTITIES OF THE QA CONTRACT

The following table describes the quantities consumed by the incumbent QA contract until June 2012. The figures are organised per work packages and per
yearly contracts (SC0x). The first contract SC01 concerned the take-over, the last contract (SC05) is on-going so figures are given for 3 months only. The
work packages in the table below are those applicable to the QA2 incumbent contract. Refer to the [QA2 tender] in the Annex XI - Baseline for more
information.


                 QA contract: Quantities consumption                                                  Quantities




                                                                                     SC02        SC03      SC04         SC05
       Work                                                                                                                             Total
                 Description                          Quantity unit      SC01         (12         (12       (12          (3
      Package                                                                                                                        Consumption
                                                                                    months)     months)   months)      months)



      WP.0.1     FQP                                  FQP                     1            0          0            0             0             1

      WP.0.3     CQP                                  CQP                                  1          1            1             1             4

      WP.1.6     Infrastructure                       month                   1            12        12        12                3            40


                 Take-over plan, take-over QA/QC:
      WP.2                                            Take-over               1            0          0            0             0             1
                 FAT report


                 TEMPO
      WP.3.1.3   training/material/performance/minu   TEMPO training          0            14        20        14                0            48
                 tes/evaluation


                 Train/Wshp/Demo -preparation
      WP.3.2.1                                        Train/Wshp/Demo         0            3         10            6             1            20
                 material/performance




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   WP.3.2.2   Train/wsh/demo – Attendance          Train/wshp/demo           0              13      95      27      8       143


              Training/workshop/demo - Hosting
              Facilities and infrastructure:       Hosted
   WP.3.2.3                                                                  0               0      0       0       0         0
              Meeting room 20 persons in           Train/Wshp/Demo
              Contractor's premises


              Train/wsh/demo – Agd Bri Min
   WP.3.2.4                                        Train/wshp/demo           0              11      10      15      5        41
              Evalu
              Missions Mat Perf Agd Bri Rep
   WP.3.3                                          Mission                   0              16      29      14      6        65
              Eval
              Technical Meetings -
   WP.4.1                                          Meeting                   0            1106     913     650     241     2910
              Attend Min

   WP.4.2     Service Monthly Meeting - Attend     Meeting                   0              51      39      35      5       130

              Mgmt Cttee mtg –
   WP.4.5                                          Meeting                   0               1      0       1       0         2
              Mat & Perf
              Mgmt Cttee mtg –
   WP.4.5                                          Meeting                   0              27      32      20      4        83
              Attend
              Mgmt Cttee mtg –
   WP.4.5                                          Meeting reporting         0               0      3       1       1         5
              Agd Bri Min

   WP.5       Hand-over report                     Hand-over                 0               0      0       0       0         0

   WP.9.1     Programme Quality Plan (PQP)         PQP                       0               0      0       1       0         1

              Audit plan agd audit report rev of
   WP.9.2                                          Audit                     0               5      4       8       4        21
              position

   WP.9.4.1   QC reports of deliverables           Page                      0      127,650      87537   70500   27953   313640

   WP.9.4.1   QC reports of deliverables           Review comment            0        21850      18000   14964   5045     59859




                                                                          Page 47 of 49
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              QC of SLM processes/Monthly QC
   WP.9.4.2   reports of the SLM processes of    Contractor.month         0              36     36     36     10     118
              other contractors



              Planning monitoring conractors     Month.business_t
   WP.9.4.3                                                               0              12      0      0      0      12
              DLVs/consolidated DTM              hread



              On site QC in the premises of CT   CT campaign cat
                                                                          0               0      0      0      0      0
              responsible contractor             1.NA


                                                 CT campaign cat
   WP.9.5     CT QC report                                                0               1      0      0      1      2
                                                 2.NA
                                                 CT campaign cat
              Daily CT report to EC                                       0              99     26    118     17     260
                                                 3.NA
                                                 CT campaign cat
                                                                                        124     42     33      7     206
                                                 4.NA

   WP.9.6.1   QC of FAT                          FAT                      0              71     54     68     33     226

   WP.9.6.2   QC of Pre-SAT/SAT reports          pre-SAT/SAT              0                     59     50     42     239
                                                                                         88

   WP.9.6.3   QC of Qualifications report        Qualifications           0             122    117    140     59     438

   WP.9.7     Coordination of review process     DLV review               0            2920   3292   3164   1301   10677

   WP.9.W     Reply to RfI                       RfI                      0              12     31     60     40     143




                                                                       Page 48 of 49
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      WP.3.1.1   TEMPO:Maintenance of training
      WP.9.8.1   material, maintenance of TEMPO,
      WP.9.8.3   new TEMPO releases, TEMPO             Month                    0            12      12     12      3     39
      WP.9.8.4   CAB attend minutes, Service
      WP.9.8.5   TEMPO e-publishing, newsletter



      WP.0.1                                           man.day of Pqa
                                                                                0            928   2323   2257   1238   6746
      WP.0.3                                           profile
      WP.3.1.2   Evolutive v FQP PQP CQP
      WP.9.1     TEMPO training mat, project           man.day of Ptech
      WP.9.3     evaluation, Technical support/other                            0            609    219    467    293   1588
                                                       profile
      WP.9.8.2   services deliverables in the scope
      WP.9.8.6   of the contract
      WP.9.9                                           man.day of Paud
                                                                                0            42      22    111      0    175
      WP.A                                             profile




Table 2: Quantities consumed by incumbent QA contractor




                                                                             Page 49 of 49

				
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